SEC Filings

Form 8-K
NOVAN, INC. filed this Form 8-K on 01/09/2018
Document Outline
Entire Document (456.6 KB)
Subdocument 1 - 8-K - 8-K
Page 1 - UNITED STATES
Page 2 - Forward-Looking Statements
Page 3 - SIGNATURES
Subdocument 2 - EX-1.1 - EX-1.1
Page 1 - Exhibit 1.1
Page 2 - Rule 462(b) Registration Statement ), (iii) the Preliminary Prospectus and the Prospectus (each as d
Page 3 - General Use Free Writing Prospectus means any Issuer Free Writing Prospectus that is identified on S
Page 4 - Emerging Growth Company ).
Page 5 - N/A
Page 6 - Debt Repayment Triggering Event means any event or condition that gives, or with the giving of notic
Page 7 - FDA ) or comparable federal, state, local or foreign governmental authorities (it being understood t
Page 8 - Company Studies and Trials ) were and, if still pending, are being, conducted in all material respec
Page 9 - Intellectual Property Rights ) necessary to conduct its business as currently conducted, and as curr
Page 10 - ERISA ), or Section 4975 of the Internal Revenue Code of 1986, as amended from time to time (the Cod
Page 11 - Exchange Act, and such rules and regulations, the Exchange Act Rules ) that complies with the requir
Page 12 - Federal Reserve Board ), and none of the proceeds of the sale of the Offered Securities will be used
Page 13 - Exchange ) to include the Stock and the Warrant Shares on the Exchange.
Page 14 - Money Laundering Laws ), and no action, suit or proceeding by or before any court or governmental or
Page 15 - Purchase Price ).
Page 16 - Permitted Free Writing Prospectus ); provided, however, that the prior written consent of the Repres
Page 17 - EDGAR ), upon the request of the Representative, to furnish promptly to the Representative and to co
Page 18 - Lock-Up Period ), the Company will not, without the prior written consent of the Representative (whi
Page 19 - N/A
Page 20 - License ); provided, however, that the License shall be used solely for the purpose described above,
Page 21 - N/A
Page 22 - bring-down letter ) from PricewaterhouseCoopers LLP addressed to the Underwriters and dated such Clo
Page 23 - N/A
Page 24 - Underwriter Indemnified Parties, and each, an Underwriter Indemnified Party ) against any loss, clai
Page 25 - N/A
Page 26 - N/A
Page 27 - N/A
Page 28 - N/A
Page 29 - N/A
Page 30 - affiliate has the meaning set forth in Rule 405 under the Securities Act, (ii) business day means an
Page 31 - [Signature Page to Novan, Inc. Underwriting Agreement]
Page 32 - SCHEDULE A
Page 33 - SCHEDULE B
Page 34 - SCHEDULE C
Page 35 - SCHEDULE D
Page 36 - Exhibit I-A
Page 37 - N/A
Page 38 - Securities Act ). For purposes of this Agreement, Change of Control shall mean the transfer (whether
Page 39 - [Signature page follows]
Page 40 - N/A
Page 41 - Exhibit I-B
Page 42 - Exhibit II
Page 43 - N/A
Page 44 - N/A
Page 45 - N/A
Page 46 - N/A
Page 47 - N/A
Page 48 - N/A
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Page 52 - N/A
Page 53 - N/A
Page 54 - N/A
Page 55 - N/A
Page 56 - N/A
Page 57 - N/A
Subdocument 3 - EX-4.1 - EX-4.1
Page 1 - Exhibit 4.1
Page 2 - 2.1 Form of Warrants. Each Warrant shall be issued in registered form only and shall be in substanti
Page 3 - 3.3.1 Payment. Subject to the provisions of the Warrant and this Agreement, a Warrant, when counters
Page 4 - 3.4 Beneficial Ownership Limitation on Exercises. The Holder s right to exercise a Warrant, and the
Page 5 - 5.1 Registration of Transfer. The Warrant Agent shall register the transfer, from time to time, of a
Page 6 - 7.1.2 Notice of Successor Warrant Agent. In the event a successor Warrant Agent shall be appointed,
Page 7 - 7.4 Acceptance of Agency. The Warrant Agent hereby accepts the agency established by this Agreement
Page 8 - 8.3 Applicable Law. The validity, interpretation, and performance of this Agreement and of the Warra
Page 9 - IN WITNESS WHEREOF, the parties hereto have caused this Agreement to be duly executed as of the date
Page 10 - EXHIBIT A
Page 11 - N/A
Page 12 - N/A
Page 13 - N/A
Page 14 - N/A
Page 15 - N/A
Page 16 - N/A
Page 17 - N/A
Page 18 - N/A
Page 19 - N/A
Page 20 - N/A
Page 21 - N/A
Page 22 - N/A
Page 23 - N/A
Page 24 - N/A
Subdocument 4 - EX-5.1 - EX-5.1
Page 1 - Exhibit 5.1
Page 2 - N/A
Page 3 - N/A
Subdocument 5 - EX-99.1 - EX-99.1
Page 1 - N/A